AUM
Employee Count
Main Office
Discretion | AUM |
---|---|
Discretionary | $44.0 |
Non-Discretionary | $0.0 |
Total | $44.0 |
Client | AUM |
---|---|
Retail | $36.4 |
Pooled | $0.0 |
Institutional | $7.6 |
Total | $44.0 |
Retail | Accounts | AUM |
---|---|---|
Individual | 187 | $0.0 |
Average Individual AUM | $159,966 | |
HNW | 18,095 | $36.4 |
Average HNW AUM | $2,012,228 | |
Retail Total | 18,282 | $36.4 |
Average Retail AUM | $1,993,282 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
Custodian | Location | AUM |
---|---|---|
WELLS FARGO BANK, N.A. | SAN FRANCISCO-CA-USA | $41.9 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Breakdown | AUM |
---|---|
Total SMA AUM | $44.0 |
Retail SMA AUM | $36.4 |
Institutional SMA AUM | $7.6 |
Asset Class | % | AUM |
---|---|---|
Equity Exch | 36% | $15.8 |
Equity Non-Exch | 0% | $0.0 |
Govt Agency | 10% | $4.4 |
Municipal | 2% | $0.9 |
Sovereign | 0% | $0.0 |
IG Credit | 36% | $15.8 |
HY Credit | 0% | $0.0 |
Derivatives | 4% | $1.8 |
Investment Companies | 0% | $0.0 |
Other Pools | 2% | $0.9 |
Cash | 10% | $4.4 |
Other | 0% | $0.0 |
Total | 100% | $44.0 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates | AUM | Business Types | CRD Number |
---|---|---|---|
WELLS FARGO CLEARING SERVICES, LLC | $558.5 | broker-dealer | 19616 |
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC | $154.2 | broker-dealer | 11025 |
WELLS FARGO BANK, NATIONAL ASSOCIATION | $0.0 | broker-dealer, trust company | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
9 active
Name | Title |
---|---|
MCCORDUCK, BRITTA, PERKIO | MANAGING DIRECTOR AND SECRETARY |
SIGMUND, GREGORY, SCOTT | CHIEF OPERATING OFFICER, DIRECTOR (BOARD MEMBER) |
CRONK, DARRELL, LYNN | PRESIDENT AND CHIEF INVESTMENT OFFICER, DIRECTOR (BOARD MEMBER) |
MAVICO, DANIEL, JAMES | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER |
SOMMERS, BARRY | DIRECTOR (BOARD MEMBER) |
RONZIO, HALEY, LYNN | CHIEF FINANCIAL OFFICER, TREASURER |
RUSNAK, GEORGE, EDWARD | DIRECTOR (BOARD MEMBER) |
ADVDB.CO • SOURCE: SEC
68 active representatives found, showing 20 random
Name | City | State | Exams | Designations | |||||
---|---|---|---|---|---|---|---|---|---|
MARY HARRIS | CHARLOTTE | NC | S66|2019-06-06 | ||||||
DANIEL MEEHAN | CHARLOTTE | NC | S63|1996-11-20|S65|2014-03-29 | ||||||
LINCOLN MAURER | CHARLOTTE | NC | S65|2022-12-01 | ||||||
RYAN HILL | CHARLOTTE | NC | CHARTERED FINANCIAL ANALYST | ||||||
WENDY GRALL | CHARLOTTE | NC | S63|2010-03-05|S65|2021-11-30 | ||||||
JANICE WAY | CHARLOTTE | NC | S66|2014-02-03 | ||||||
JEFFREY SAWYERS | CHARLOTTE | NC | S63|1996-03-08 | CHARTERED FINANCIAL ANALYST | |||||
STEVEN ALPERIN | CHARLOTTE | NC | S63|1994-01-06|S65|2007-10-17 | ||||||
BRYAN CLINE | CHARLOTTE | NC | S65|2022-03-15 | ||||||
LORELY MACHIN | CHARLOTTE | NC | S63|1996-02-05 | CHARTERED FINANCIAL ANALYST | |||||
LUCAS BAKER | CHARLOTTE | NC | S63|2004-11-18 | CHARTERED FINANCIAL ANALYST | |||||
JEREMIAH JOHN | CHARLOTTE | NC | S65|2021-12-01 | ||||||
JOSHUA LINDSTEADT | CHARLOTTE | NC | CHARTERED FINANCIAL ANALYST | ||||||
RICHARD HENRY | CHARLOTTE | NC | S65|2019-04-04 | ||||||
RYAN SHAW | CHARLOTTE | NC | S65|2022-11-07 | ||||||
DAVID BEACH | CHARLOTTE | NC | S66|2000-05-26|S65|2022-02-28 | ||||||
TROY SEILER | CHARLOTTE | NC | S63|1991-05-15|S66|2011-03-08 | ||||||
DANIEL MILLER | CHARLOTTE | NC | S63|2013-01-02|S65|2015-12-15 | ||||||
MARY GRINDLAND | CHARLOTTE | NC | S63|2004-07-23|S65|2022-01-06 | ||||||
JAKE PUDENZ | CHARLOTTE | NC | S63|2020-12-02|S65|2022-12-01 |
ADVDB.CO • SOURCE: SEC
Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
---|---|---|---|---|---|---|
2024-10-01 | $44.0 | $0.0 | 0% | 251 | 0 | 0% |
2024-04-02 | $43.6 | $0.4 | 1% | 251 | 0 | 0% |
2023-04-04 | $38.1 | $5.9 | 15% | 264 | -13 | -5% |
2022-04-01 | $51.2 | -$7.3 | -14% | 212 | 39 | 18% |
2021-04-05 | $5.9 | $38.1 | 645% | 143 | 108 | 76% |
2020-04-01 | $6.3 | $37.7 | 602% | 164 | 87 | 53% |
2019-04-01 | $5.9 | $38.1 | 641% | 188 | 63 | 34% |
2018-04-02 | $3.9 | $40.1 | 1037% | 159 | 92 | 58% |
2017-04-01 | $3.9 | $40.1 | 1037% | 159 | 92 | 58% |
2016-04-01 | $3.4 | $40.6 | 1212% | 101 | 150 | 149% |
2015-04-01 | $4.0 | $40.0 | 1013% | 102 | 149 | 146% |
2014-04-01 | $3.7 | $40.3 | 1096% | 40 | 211 | 528% |
2013-04-01 | $2.8 | $41.2 | 1477% | 35 | 216 | 617% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
STATE REGISTRATIONS |
NC, AK-03/31/2017, AL-03/31/2017, AR-03/31/2017, AZ-03/31/2017, CA-03/31/2011, CO-03/31/2017, CT-03/31/2017, DC-03/31/2017, DE-03/31/2011, FL-03/31/2017, GA-03/31/2017, HI-03/31/2017, IA-03/31/2017, ID-03/31/2017, IL-04/06/2017, IN-03/31/2017, KS-03/31/2017, KY-03/31/2017, LA-03/31/2017, MA-05/16/2005, MD-03/31/2017, ME-03/31/2017, MI-03/31/2017, MN-03/31/2017, MO-03/30/2016, MS-03/31/2017, MT-03/31/2017, NC-05/13/2005, ND-03/31/2017, NE-03/31/2017, NH-03/31/2017, NJ-04/27/2017, NM-03/31/2017, NV-03/31/2017, NY-03/31/2017, OH-03/31/2017, OK-03/31/2017, OR-03/31/2017, PA-03/31/2017, PR-03/31/2017, RI-03/31/2017, SC-03/31/2017, SD-03/31/2017, TN-03/31/2017, TX-03/31/2017, UT-03/31/2017, VA-03/31/2017, VI-03/31/2017, VT-03/31/2017, WA-03/31/2017, WI-03/31/2017, WV-03/31/2017, WY-12/15/2017 |
ADVISER ACTIVITIES |
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (SMB) MANAGER SELECTION NEWSLETTERS |
OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV